Individual Firm
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Michelle L. Marquez
MICHELLE LAPID MARQUEZ
CRD#: 2963891
IA
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 301 North Lake Avenue
Suite 1150
Pasadena, CA 91101
Suite 1150
Pasadena, CA 91101
View By:
5/20/2003
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 3/12/2021
B
Nevada 6/13/2023
B
California 5/31/2019
B
Oregon 1/21/2021
IA
California 6/3/2019
IA
Texas 6/12/2019
B
Florida 10/3/2019
B
Texas 7/23/2019
B
Hawaii 8/19/2021
B
Utah 7/10/2019
B
Massachusetts 1/26/2024
SRO Registrations
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 6/3/2019
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Registered with this firm since 5/31/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/27/2018 - 06/17/2019 | PASADENA, CA | |
B | 06/27/2018 - 06/17/2019 | PASADENA, CA | |
IA | 10/23/2009 - 07/27/2018 | PASADENA, CA | |
B | 10/23/2009 - 07/27/2018 | PASADENA, CA | |
IA | 03/25/2002 - 10/23/2009 | UNIVERSAL CITY, CA | |
B | 01/16/2002 - 10/23/2009 | UNIVERSAL CITY, CA | |
B | 05/01/2000 - 01/14/2002 | FORT MILL, SC | |
B | 09/11/1998 - 05/02/2000 | ST. CLOUD, MN | |
B | 11/13/1997 - 09/02/1998 | SACRAMENTO, CA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.